George D. Kushner
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
George David Kushner, who also goes by George Kushner, George David Kushner, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1993. George had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 25, 2019 - July 1, 2021
WELLS FARGO CLEARING SERVICES, LLC
July 24, 2019 - July 1, 2021
WELLS FARGO CLEARING SERVICES, LLC
February 26, 2018 - August 2, 2018
WEALTHFORGE SECURITIES, LLC
August 25, 2015 - February 20, 2018
BLACKROCK INVESTMENT MANAGEMENT, LLC
May 12, 2015 - February 20, 2018
BLACKROCK INVESTMENTS, LLC
April 5, 2010 - March 21, 2012
MAN INVESTMENTS INC.
January 5, 2007 - November 5, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 3, 2007 - November 5, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 26, 2004 - May 24, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 2, 2002 - May 24, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 29, 2001 - April 18, 2002
NATWEST MARKETS SECURITIES INC.
January 2, 1998 - May 22, 2001
TRUIST SECURITIES, INC.
January 31, 1997 - January 2, 1998
SUNTRUST CAPITAL MARKETS, INC.
September 23, 1994 - August 11, 1995
SANWA UNIVERSAL SECURITIES CO., LLC
September 23, 1994 - August 11, 1995
SANWA SECURITIES (USA) CO., L.P.
September 1, 1993 - August 24, 1994
BANC OF AMERICA SECURITIES LLC
Primary Firm SEC Registration
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WACHOVIA SECURITIES FINANCIAL HOLDINGS, LLC | SOLE MEMBER | |
| CRONK, DARRELL | HEAD OF INVESTMENT SOLUTIONS / WIM CHIEF INVESTMENT OFFICER / BOARD OF MANAGERS / CONTROL PRINCIPAL | 2498892 |
| GINDI, SOL | PRESIDENT / HEAD OF WIM DISTRIBUTION / BOARD OF MANAGERS / CONTROL PRINCIPAL | 4903526 |
| KARANIK, ERIK ANTHONY | BOARD OF MANAGERS | 2260890 |
| LACEY, PAUL | PRINCIPAL OPERATIONS OFFICER / CONTROL PRINCIPAL | 5616656 |
| PATEL, RAKESH | CHIEF FINANCIAL OFFICER / BOARD OF MANAGERS | 5385585 |
| SAUNDERS, DAVID WARD | DESIGNATED STATE PRINCIPAL | 2448617 |
| SOMESHWAR, PRASANNA | HEAD OF BANKING, LENDING & TRUST / CONTROL PRINCIPAL | 7491790 |
| SOMMERS, BARRY | CHIEF EXECUTIVE OFFICER / BOARD OF MANAGERS | 2301454 |
| TSAMADIAS, CHRISTOS G | CHIEF COMPLIANCE OFFICER | 5433568 |
Regulatory assets under management
| Total Number of Accounts | 1,327,695 |
| AUM (Assets Under Management) | $ 606,037,831,365 |
Disclosures
| Regulatory Event | 182 |
| Civil Event | 2 |
| Arbitration | 303 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 12/11/2023 | ||
| 02/17/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
